Brian joined RND as Chief Operating Officer in 2022.
Brian provides RND’s clients with answers and actionable plans for a limitless range of issues.

I have proudly served the securities industry in a variety of roles, from producing representative to regulator to Chief Compliance Officer. I have experienced the securities industry from many sides and have learned from each new challenge.

When I graduated law school, I knew I wanted to work in the financial services industry, as I have always been a proponent of the securities markets. I believe that securities ownership has proven to be the most reliable pathway to financial security that outperforms all other means of investment.

I began my career at Charles Schwab & Company where I walked in the door with no experience, studied hard, and passed the Series 7 and Series 63 exams. I learned the markets from the ground up, and in due course, I became an expert on the mechanics of the markets. I enjoyed speaking to clients, performing market education, and learning what is most important to clients and why they invest.

At Schwab, I learned that my talents and interest were leading me to compliance and oversight roles. I left Schwab to become an Enforcement Attorney at the Indiana Securities Division, where I helped ensure that the participants in our industry are of the highest business repute and that industry conduct serves the investor.

Following service to Indiana investors, I rejoined the securities industry and have served for nearly the last 20 years in a range of securities compliance and regulatory roles of increasing responsibility, including General Counsel, Director of Regulatory Affairs, and Chief Compliance Officer.

I look forward to helping you achieve your goals in the securities industry.

Brian graduated from Indiana University – Bloomington with a B.A. in Philosophy, High Distinction, Phi Beta Kappa. Brian further earned a Juris Doctor at Indiana University – Bloomington.

Brian is licensed to practice law in the States of Indiana and Texas.

Brian is a member of the National Society of Compliance Professionals.

Brian may be registered under the following FINRA and securities industry classifications:

• Investment Banking Principal
• Compliance Officer
• General Securities Principal
• General Securities Representative
• Investment Banking Representative
• Municipal Securities Representative
• Operations Professional
• Government Securities Principal
• Private Securities Offerings Representative
• Registered Representative
• Investment Advisor Representative